Alert:
A nationwide postal strike or lockout may occur as early as May 22, 2025. Dealer Members must take steps to ensure that document delivery requirements prescribed under CIRO Rules continue to be met.
Alert:
A nationwide postal strike or lockout may occur as early as May 22, 2025. Dealer Members must take steps to ensure that document delivery requirements prescribed under CIRO Rules continue to be met.
Investor Alert:
Investors are urged to exercise caution when encountering Guaranteed Investment Certificate (GIC) offers online.
Meeting Date | Friday, October 27, 2023 |
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Meeting Time | 12PM – 5PM EST |
Location | Videoconference |
Members | Dorothy Sanford (Chair) Moshe Milevsky (Vice Chair) Kerry Baisley Heidi Conrad James Emmerton Cristie Ford François Lavallée Andrew Nicholson Enoch Omololu |
Invitees | CIRO staff: Matthew Brady – VP, Office of the Investor Madeleine Cooper – Senior Policy Counsel, Member Regulation Policy Susan Farrell – Director, Case Assessment / Complaints & Inquiries Sonali GuptaBhaya – VP, Market Policy & Trading Conduct Compliance (Acting) Karen McGuinness – SVP, Office of the Investor, Membership Intake & Innovation Tatsiana Okun – Associate General Counsel, Litigation Sheila Wong – Director, Case Assessment External Participants: Sarah Bradley – CEO, OBSI Mark Wright – Director of Communications and Stakeholder Relations, OBSI |
TIME (EST) | AGENDA ITEMS | PRESENTERS |
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12:00 – 12:30 PM | 1. Short Selling Proposal | Sonali GuptaBhaya Theodora Lam |
12:30 – 1:00 PM | 2. Office of the Investor - Blueprint | Karen McGuinness Matthew Brady |
1:00 – 1:15 PM | 3. The Complaint Landscape | Karen McGuinness Matthew Brady |
1:15 – 2:00 PM | 4. CIRO’s Complaints Process | Susan Farrell Sheila Wong |
2:00 – 2:30 PM | BREAK | |
2:30 – 3:15 PM | 5. OBSI Presentations | Sarah Bradley Mark Wright |
3:15 – 3:45 PM | 6. Complaint Handling – Policy Consultation | Madeleine Cooper |
3:45 – 4:15PM | 7. Arbitration Program Review | Tatsiana Okun |
4:15 – 5:00 PM | 8. General Discussion and Administrative Matters | Dorothy Sanford |
Welcome to CIRO.ca!
You can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.
The following sections of the legacy mfda.ca and iiroc.ca sites have been migrated to ciro.ca:
We will continue moving items off MFDA and IIROC in 2024. Stay tuned for future updates.
In this section: